Wedbush Securities is a full-service investment bank and brokerage firm.

This position provides regulatory and compliance support to the firm's very successful and thriving Correspondent Services Division.  This is a career enriching opportunity for the individual who has 2-3  years of broad brokerage operations and compliance experience and a desire to progress and grow with a leading, full-service investment bank and brokerage firm.  The selected candidate will: 

• Draft and coordinate regulatory responses
• Conduct anti-money laundering review of accounts
• Ensure division compliance with operational procedures
• Perform quality control review of documents
• Review prime broker and professional trading account issues
• Provide information and assistance to correspondent firms on regulatory issues

• Bachelor's Degree required;
• At least 2-3 years of related experience in a broker/dealer operations and/or compliance position; 
• FINRA Series 7, 24 and 8 required; solid knowledge of securities industry regulations essential;
• Excellent verbal and written communication skills;
• Must be a highly proficient researcher and critical/inferential thinker with ability to produce well-written responses to regulatory inquiries.

Permanent Resident/U.S. Citizen: Yes - Required